Investment Adviser Regulation

Our firm represents SEC and state registered investment advisers as well as financial planners throughout the United States. Our practice areas include assisting clients in regulatory examinations and representing them in enforcement actions. Many of our clients often rely upon us as an “outsourced” legal counsel. Our services are often less expensive than hiring and maintaining an “in-house” compliance legal department. We are also available to perform on-site regulatory reviews offering you the ability to utilize our services under attorney – client privilege.